Equity Capital Markets

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  • Parental Liability: Goldman Sachs v Commission (T-419/14)

    Article

    Submitted: 17 July 2018

    ​The General Court of the European Union handed down its judgment on 12 July 2018 confirming a €37m fine against the Goldman Sachs Group Inc, in a growing trend towards a broad application of parental liability in EU competition law.

  • UAE securities regulator to issue circular extending grace period for local promoters Restricted access

    Article

    Submitted: 12 July 2018

    The UAE Securities & Commodities Authority (the SCA), the securities sector financial services regulator in onshore UAE, recently issued a notice advising that the grace period given to local promoters of securities (including foreign mutual funds) to obtain a promoter’s licence from the SCA, expired on 28 June 2018. This article summarises the effect of the notice and potential next steps.

  • Prospectus Regulation: Increase in exempt offers threshold to €8 million

    Article

    Submitted: 11 July 2018

    From 21 July 2018, the UK threshold below which public offers are exempt from the requirement to publish a prospectus will increase to €8m. Offers of securities in the EU of less than €1m will also be outside the scope of the prospectus regime from that date.

  • UK Listing, Rules Disclosure Guidance and Transparency Rules

    Article

    Submitted: 05 July 2018

    ​An overview of recent developments.

  • FCA publishes draft Technical Note on periodic financial information and inside information

    Article

    Submitted: 19 June 2018

    ​An overview of the draft Technical Note on identifying and handling inside information when preparing periodic financial reports which the FCA has issued for consultation.

  • Prospectus Regulation Tracker

    Article

    Last Reviewed: 14 June 2018 / Submitted: 30 June 2017

    Our Prospectus Regulation Tracker will help you plan for the changes ahead.

  • New premium listing category for sovereign controlled companies

    Article

    Submitted: 11 June 2018

    An overview of the new premium listing category for sovereign controlled companies (PS18/11).

  • IndInfravit privately goes public in India

    Article

    Submitted: 23 May 2018

    In early May 2018, IndInfravit Trust, an Indian infrastructure investment trust, or InvIT, completed its initial global offering of 314,500,000 trust units, raising gross proceeds of Rs. 31.45bn (approximately US$485m). The offering was only the third by an InvIT under the Securities and Exchange Board of India (Infrastructure Investment Trusts) Regulations, 2014, and was the first to be done on a private placement basis, though the units were listed for trading on the National Stock Exchange and the Bombay Stock Exchange.

  • Legal Headwinds NL/EU - Quarterly Report - Q2 2018 Restricted access

    Newsletter

    Submitted: 11 May 2018

    ​The Q2 2018 edition of Legal Headwinds focuses on key regulatory developments relevant to asset managers and financial institutions operating in the Netherlands for the period from 01 April 2018 to 30 June 2018.

  • Legal Headwinds: UK/EU - Quarterly Report - Q2 2018 Restricted access

    Newsletter

    Submitted: 10 May 2018

    The Q2 2018 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to asset managers and financial institutions operating in the UK for the period from 01 April 2018 to 30 June 2018.

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